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CALIFORNIA REVOKED THE RESPONDENT'S UNRESTRICTED LICENSE BASED ON HER FAILURE TO TIMELY NOTIFY THE DEPARTMENT OF HER NO CONTEST PLEA TO A MISDEMEANOR. CALIFORNIA ISSUED A RESTRICTED LICENSE TO ACT AS AN ACCIDENT AND HEALTH AGENT AND LIFE-ONLY AGENT SUBJECT TO RESPONDENT OBEYING THE LAWS AND REGULATIONS OF ALL STATE AND FEDERAL AGENCIES WITH JURISDICTION OVER HER.
Resolution
Order
Sanctions
Civil and Administrative Penalty(ies)/Fine(s)
Amount
$817.00
Sanctions
Monetary Penalty other than Fines
Sanctions
Revocation
Sanctions
RESTRICTED LICENSE SUBJECT TO RESPONDENT OBEYING THE LAWS AND REGULATIONS OF ALL STATE AND FEDERAL AGENCIES WITH JURISDICTION OVER HER.
9/27/2012
Customer Dispute
Closed-No Action
Allegations
THE CUSTOMER ALLEGES THAT IN MAY 2012 THAT STOCK PURCHASES WERE MADE IN HER BROKERAGE ACCOUNT WITHOUT HER AUTHORIZATION AND THAT THERE WAS AN UNREASONABLE DELAY IN CANCELLING THE UNAUTHORIZED TRADES. THE CUSTOMER FURTHER ALLEGES THAT IN DECEMBER 2011 THERE WAS DELAY IN PURCHASING OTHER STOCKS AND MUTUAL FUNDS WHICH ADVERSELY EFFECTED THE CUSTOMER'S FINANCIAL POSITION AND RESULTED IN TAX IMPLICATIONS.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
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Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.